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Subject: Re: Definition of Record vs Document
From: Nel Annelie Spoornet <[log in to unmask]>
Reply-To:Records Management Program <[log in to unmask]>
Date:Wed, 22 Oct 2003 12:31:49 +0200
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Although doc might be a record (documents managed in context) on its own
always is a document. A Policy without supporting docs can be disputed if
supporting docs are not available (true for any document).  My
interpretation of record is that you can follow the background to see what
'happened' when, where, who, what etc. If it is recorded information and you
can not make out how it fits - how can it constitute a record.  What I am
saying is that all docs are potential records the part that is essential is
that it is managed (records management) so that it can be linked as a record
if that is not possible it is a non-record.

As I say its only the way I try to standardise the view in my environment at
least.  If I sound confused it has a detrimental effect on RM perception in
the company.

Regards

-----Original Message-----
From: Grahame Gould [mailto:[log in to unmask]]
Sent: 21 October 2003 10:32
To: [log in to unmask]
Subject: Re: Definition of Record vs Document


What I understand you saying is that a document cannot be a record and vice
versa, where as I was always under the impression that a document may or may
not be a record and vice versa.  And others think that "records" is a subset
of "documents".  And there seem to be those that think "documents" is a
subset of "records".

Grahame
[log in to unmask]

-----Original Message-----
From: Nel Annelie Spoornet [mailto:[log in to unmask]]
Sent: Tuesday, 21 October 2003 15:35
To: [log in to unmask]
Subject: FW: Definition of Record vs Document

The conflicting views on this issue is from a professional point of view
quite an embarressment at the moment.  In order to create a standardised
view at least in my environment I have created an explanation that most
people seem to understand.

According to ISO the word mentioned in the definition for document that is
different to record is the word unit.  So how I explain it is that Concept
Policy, Policy, Minutes of meeting with regards to that policy, e-mail
message with input on that policy each constitute a document (unit).  The
record is all this information managed together within context.  In the
paper world as an example think of the old brown file, each item on that
file constitute a document but the whole file with items in chronological
order and numbereds items with the correct reference and noted in the
Register of Opened Files = the record.  This file in context with other
files is a more complete record etc.

The same can be applied in the electronic environment when you manage the
electronic documents in folders by means of folder structures, document
properties and automated numbering within the sytem.  To me that is the
point where legal and information requirements can be met.

It is crucial that a clear standardised explanation be made available in the
RM world.

Annelie Nel
Spoornet
South Africa
[log in to unmask]




-----Original Message-----
From: Grahame Gould [mailto:[log in to unmask]]
Sent: 21 October 2003 02:49
To: [log in to unmask]
Subject: Re: Definition of Record vs Document


I tried to spark a discussion on this a couple of weeks ago.   The
International Standard on RM (ISO 15489) defines a document as "recorded
information (!) or object which can be treated as a unit", which makes me
wonder what a record might be.

But they do tell us - "information created, received, and maintained as
evidence and information by an organisation [or spell with z if you prefer]
or person, in pursuance of legal obligations or in the transaction of
business".  Hmm, so document = "record of information", and record =
"evidence and information".

Sounds silly to me, but that's the standard.

I proposed (on RMAA (ie Australian) listserve) that we need to rethink our
terms.  Is this part of being "professional", that we create a new language?
Is it necessary for terms to mean something different for us than what the
word would indicate it should mean?

Someone has mentioned previously that there was a zoo somewhere that defined
its animals as documents.  Animals in the wild weren't but animals in
captivity were.  Very, very strange, to my way of thinking.

Here's my views.  A document is something with writing on/in it, whether
paper or electronic eg. email, letter etc.

A record is something that has been recorded.  It may or may not be a
document, to my way of thinking.  It may be the list of animals kept by a
zoo.  It may be a number of lists.  I think I could stretch my thinking to
have it include the animals themselves.  (Could they be considered a
record?)  It may be a video tape (would that be a document?).  It could be a
model of a building, or photos, or a piece of concrete (eg. a record of what
injured someone, or of proof of faulty workmanship).

Those aren't very complex definitions, there more of a description.  Maybe
someone can give a definition that sounds a bit more flowery, but first we
need to decide if I'm right, or the ISO is right, or if some other
definition(s) would be better.

Grahame Gould
Records Manager
Shire of Wyndham East Kimberley
115 Coolibah Drive
PO Box 614
Kununurra  WA  6743
Australia

[log in to unmask]
08 9168 4111
www.thelastfrontier.com.au

This email may contain confidential information.  If you are not the
intended recipient, please contact me.

The views expressed in this email may or may not be the official position of
SWEK.

Airnorth flies to Kununurra - contact QANTAS or your travel agent for
details
and from March 2004, QANTAS will fly direct to Kununurra from Perth


-----Original Message-----
From: Laiche, Elizabeth [mailto:[log in to unmask]]
Sent: Tuesday, 21 October 2003 02:14
To: [log in to unmask]
Subject: FW: Definition of Record vs Document

In our organization (we are a federal government contractor with 650+
people and 5 sites in Texas and Louisiana), there is a distinction
between which documents are or are not records, regardless of their form
(paper or electronic.  However, since all "records" are "documents," we
are in the process of merging our records management procedures manual
into the overall document control and management procedures manual to
create one comprehensive document control program.  The "document vs.
record" distinction come into play with the purpose and scope of the
document.  All WORKING documents (drafts under construction or version
that have not yet been approved for use by the owning function) are
non-record documents.  Copies of documents that are kept for
quick-reference convenience by functions other than the one responsible
for the actual record copy are considered non-record REFERENCE
documents.  If the document is ACTIVE (appropriately reviewed, approved
for use, published in the corporate library by the owning function under
our version control procedures, and in use by our employees) and is use
to make business decision, the document is automatically a record.  If
the document is INACTIVE (completed or closed), it is a record for which
the retention period has begun; it can no longer be used to make
business decisions, but it retains its value as evidential or historical
information.  We have still other groups of corporate documents that are
not yet considered records, but are considered to be corporate--and
therefore, controlled--documents.  These consist of: 1) master copies of
forms or templates sued in procedures, and 2) studies and reports upon
which we have not yet reacted, and may not ever react.  These
studies/reports are kept in our corporate library as valuable documents,
but since they are FOR INFORMATION ONLY and are not used to conduct
business, they are not considered records.  If the day comes when we
pull these studies from the library and actually apply them to business
decisions, they will instantly become ACTIVE records.  This process and
the training we conducted has, so far, been very beneficial in keeping
us out of trouble and in compliance with ISO 9000 and 14000.

I'm interested to see what everyone else on the listserv is doing with
this concept.

-----Original Message-----
From: Richard Pearce-Moses [mailto:[log in to unmask]]
Sent: Monday, October 20, 2003 10:08 AM
To:
Subject: Definition of Record vs Document


I've been struggling with the definitions of document and record quite a
bit recently.  (Everyone needs a hobby ;^)  If I've learned one thing,
it's that the definitions change with context.  For example, in
government, something may fall within the scope of the public records
law, but not within the business record exception to the hearsay rule in
the Federal Rules of Evidence.  That same thing may or may not be
covered by FOIA.

Then we get to more philosophical distinctions from records management,
which distinguishes between official records, record copies, and
non-records.

One of the real challenges of defining these terms is that people often
use the general term 'record' or 'document' when they mean something
more narrow.  That, no surprise, leads to enormous confusion for people
using the same term with very different understandings of what those
terms mean.  In fact, some people use document as a synonym of record,
while others use them to refer to two very distinct things.

Given that, here are my current definitions (with notes) of document and
record (comments welcome).

-- Richard Pearce-Moses
  Director of Digital Government Information
  Arizona State Library and Archives


DOCUMENT

n. ~ 1. Any written or printed work. - 2. Information or data fixed in
some media. - 3. Information or data fixed in some media, but which is
not part of the official record; a non-record. - 4. A written or printed
work of a legal or official nature that may be used as evidence or
proof; a record.

Notes

Document[1] is traditionally considered to mean text fixed on paper,
especially those that are flat (nearly two-dimensional). However,
document2 includes all media and formats. Photographs, drawings, sound
recordings, and videos as well as word processing files, spreadsheets,
web pages, and database reports are now generally considered to be
documents.

Like records, documents are traditionally understood to have content,
context, and structure. However, the nature of those attributes may
change in electronic documents. Electronic formats can present
information in complex layers that are three-dimensional or have a
non-linear structure. The phrase 'four-corners document' is sometimes
used to distinguish between an electronic document that can be printed
on paper without loss of information from more complex, three
dimensional documents. Similarly, some electronic documents' content do
not have fixed content, but may change over time; for example, a word
processing document that pulls data from a constantly changing database.
These documents are described as dynamic documents to distinguish them
from traditional, fixed documents

In some contexts, document is used to refer to an item that is not a
record[2, 3], such as drafts, duplicates of record copies, and materials
not directly relating to business activities. In this sense, documents
not usually not included on retention schedules and can be disposed of
without authorization.

However, in other contexts, document[4] is used synonymously with
record[2, 3]. In this sense, record connotes an official document,
especially the final version of those created in the routine course of
business with the specific purpose of keeping information for later use
as evidence or proof of the thing to which it refers.

In some instances, there are clear distinctions between a document and a
record. For example, in civil litigation in the United States all
documents held by an organization are discoverable. However, those
documents are admissible as evidence only if they fall within the
definition of business record in the Federal Rules of Evidence (or state
equivalent).

Document is often used interchangeably with publication, although this
use has the sense that there are many identical copies in distribution.
This use common in state and federal depository libraries that collect
government documents.

A document's content may reflect formula and convention in its
structure, including formal rules of representation, literary style, and
specialized language that reflect the author's political, professional,
or social cultures. A document's physical characteristics may also
follow conventions relating to the medium, organization of internal
elements, and presentation of the information.


RECORD

n. ~ 1. A written or printed work of a legal or official nature that may
be used as evidence or proof; a document. - 2. Data or information that
has been fixed on some medium; that has content, context, and structure;
and that is used as an extension of human memory or to demonstrate
accountability. - 3. Data or information in a fixed form that is created
or received in the course of individual or institutional activity and
preserved as evidence of that activity for future reference. - 4. An
instrument filed for public notice (constructive notice). - 5. Audio * A
phonograph record (see sound recording). - 6. Computing * A collection
of related fields treated as a unit, such as a row in a relational
database table.- 7. Description * An entry describing a work in a
catalog; a catalog record.

Notes

The use of the general term record when referring to a particular type
of record inevitably leads to confusion because attributes of the
particular type are not conveyed by the general term. In particular, see
business record, which is defined in the Rules of Federal Evidence, and
public record, which is defined in law. Similarly, records are not
synonymous with archives; while an archives collects records, not all
records merit on-going preservation.

A record[1, 2, 3] has fixed content, structure, and context.

Content is the text, data, symbols, numerals, images, sound and vision
that make up the substance of the record. A record's ability to fix
information so that it can be repeated, recited, or recalled at a later
date functions as an extension of memory and is at the heart of the
concept of record. A record may be created specifically to preserve
information over time or to prevent future misinterpretation of that
information, although a record cannot be presumed to be reliable without
authentication. However, any item - no matter how ephemeral it was
intended to be - may serve as a record if it is later used as evidence
of the thing to which it refers.

Fixity is the quality of content being stable and resisting change. To
preserve memory effectively, the record's content must be consistent
over time. Records made on mutable media, such as electronic records,
must be managed so that it is possible to demonstrate that the content
has not mutated or been altered. A record may be fixed without being
static. A computer program may allow a user to analyze and view data
many different ways. The database itself may be considered a record if
the underlying data is fixed and the same analysis and resulting view
remain the same over time.

Structure refers to a record's physical characteristics and internal
organization of the contents. A record's structure is the form that
makes the content tangible and intelligible. Physical characteristics
include components and methods of assembly, such as paper, ink, seals,
and font families, or character sets, encoding, and file formats.
Structure also includes the intellectual organization of a document. A
record's structure may be very simple, such as plain text on a page; it
may be organized into an outline or sections with headings; or it may be
highly complex, including a preamble, the body, and the signatures of
witnesses. A document's structure is contained within boundaries, which
define the record as a unit and give it identity by distinguishing it
from other information. A record may consist of many physically or
logically discrete parts that function together as unit, such as several
pages or data values from many tables. However, those parts must be
bound together in some fashion.

Context is the organizational, functional, and operational circumstances
surrounding a record's creation, receipt, storage, or use. Context
includes a record's date and place of creation, compilation, or issue,
and its relationship to other records.

Records may be in any format, including text, images, or sound. However,
the concept of record is ultimately independent of any specific carrier
or format. Paper records may be microfilmed, and electronic records may
be transferred from memory to disk to paper.

A records is often unique, whereas a publication is always created in
multiple copies. However, a record may be a single copy of many that has
been selected for preservation or special treatment (a record copy). For
example, a publisher may keep one copy of each publication as a record.

Record[2, 3] is sometimes used with the sense of record copy or official
record, a complete, final, and authoritative version that is preserved.
This sense of record is distinguished from non-record or document[3],
which includes copies of the official record or materials that are not
scheduled and can be disposed of without authorization.

Record is frequently used synonymously with document. To the extent the
vernacular uses record to refer to any document, without specification,
the terms are synonymous. However, the concept of record is independent
of format, and it includes things that are clearly not documents. For
example, an artifact may serve as a record if it is preserved to bolster
human memory or to demonstrate accountability.

Records are sometimes distinguished from papers, with records referring
to items that were generated as the result of routine activities or a
transactions, especially those of an organization. Papers refer to
documents created on a more or less ad hoc basis, especially those of an
individual.

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